Regulatory Compliance Associate - Broker-Dealer (FINRA/SEC)

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 60,000 - 80,000; Full time

Job summary

A financial services firm in Fort Lauderdale is looking for a Compliance Associate to aid the Chief Compliance Officer. The role involves maintaining compliance with FINRA/SEC regulations, monitoring employee activity, and providing training on compliance policies. The ideal candidate should have a degree in finance, business, or a related field, along with at least 2 years of compliance experience. This full-time position offers an excellent opportunity to develop compliance skills in a dynamic environment.

Qualifications

• 2+ years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred.
• Ability to handle confidential information with discretion.

Responsibilities

• Assist the CCO with the administration of the firm’s compliance program under FINRA/SEC rules.
• Monitor employee trading and personal account activity for compliance.
• Conduct periodic reviews of marketing materials for regulatory compliance.
• Assist with the preparation and filing of regulatory documents like Form ADV.
• Support internal audits and regulatory examinations.
• Provide training to staff on compliance policies.

Skills

Attention to detail

Organizational skills

Communication skills

Proficiency with Microsoft Office Suite

Understanding of FINRA/SEC regulations

Education

Bachelor’s degree in finance, business, legal studies, or a related field

Tools

Compliance software platforms

Job description

A financial services firm in Fort Lauderdale is looking for a Compliance Associate to aid the Chief Compliance Officer. The role involves maintaining compliance with FINRA/SEC regulations, monitoring employee activity, and providing training on compliance policies. The ideal candidate should have a degree in finance, business, or a related field, along with at least 2 years of compliance experience. This full-time position offers an excellent opportunity to develop compliance skills in a dynamic environment.